SecurityLMBS / First Trust Enhanced Short Maturity ETF (33739Q200)
Institutional Owners104
Form N-Q Owners3
Institutional Shares10,694,962 (ex. N-Q)
Institutional Value$ 1,334,147,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

First Trust Enhanced Short Maturity ETF (NASDAQ:LMBS) has 104 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 10,694,962 shares. Largest shareholders include Morgan Stanley, Wbi Investments, Inc., UBS Group AG, Bank Of America Corp /de/, Pinnacle Advisory Group, Inc., Royal Bank Of Canada, LPL Financial LLC, Raymond James Financial Services Advisors, Inc., United Capital Financial Advisers, Llc, and Advocacy Wealth Management Services, LLC.

First Trust Enhanced Short Maturity ETF (NASDAQ:LMBS) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

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File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2018-02-09 13F-HR INTL FCSTONE INC. 0 5,554 0 287
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 449,264 558,212 24.25 23,358 28,826 23.41
2017-11-22 13F-HR/A-1 National Planning Corp 7,891 410
2018-02-12 13F-HR CITIGROUP INC 70,699 113,185 60.09 3,676 5,847 59.06
2018-02-08 13F-HR Atlanta Capital Group 21,550 1,113
2018-02-02 13F-HR US BANCORP \DE\ 620 32
2018-02-14 13F-HR Acorn Wealth Advisors, Llc 6,000 310
2017-11-06 13F-HR SEI INVESTMENTS CO 5 0 -100.00 0 0
2018-02-15 13F-HR BB&T SECURITIES, LLC 42,219 67,813 60.62 2,194 3,501 59.57
2018-02-14 13F-HR TWO SIGMA SECURITIES, LLC 7,184 371
2018-02-13 13F-HR MML INVESTORS SERVICES, LLC 85,841 82,429 -3.97 4,463 4,257 -4.62
2018-02-09 13F-HR SII INVESTMENTS INC/WI 131,747 124,777 -5.29 6,849 6,454 -5.77
2018-02-09 13F-HR AlphaMark Advisors, LLC 500 500 0.00 26 26 0.00
2018-01-03 13F-HR/A-1 BEACON FINANCIAL GROUP 147,611 142,363 -3.56 7,674 7,352 -4.20
2018-02-09 13F-HR Eldridge Investment Advisors, Inc. 125,763 6,497
2018-02-13 13F-HR HCR Wealth Advisors 7,700 398
2018-02-07 13F-HR Miracle Mile Advisors, LLC 212,053 220,242 3.86 11,025 11,373 3.16
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC 4,693 0 -100.00 244 0 -100.00
2017-11-13 13F-HR Argent Trust Co 5,972 0 -100.00 311 0 -100.00
2018-02-01 13F-HR HL FINANCIAL SERVICES LLC 15,832 18,429 16.40 823 952 15.67
2018-01-17 13F-HR/A-1 Koshinski Asset Management, Inc. 4,499 0 -100.00 235 0 -100.00
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 53,587 94,470 76.29 2,786 4,878 75.09
2018-02-06 13F-HR Migdal Insurance & Financial Holdings Ltd. 37,219 38,434 3.26 1,935 1,985 2.58
2018-02-14 13F-HR IHT Wealth Management, LLC 4,543 5,331 17.35 236 275 16.53
2018-01-12 13F-HR Advocacy Wealth Management Services, LLC 688,897 278,418 -59.58 35,816 14,378 -59.86
2018-02-01 13F-HR Plante Moran Financial Advisors, LLC 1,647 1,647 0.00 86 85 -1.16
2018-02-09 13F-HR Raymond James Financial Services Advisors, Inc. 263,643 336,743 27.73 13,707 17,390 26.87
2018-02-20 13F-HR Cnb Bank 70 4
2018-02-02 13F-HR Patten Group, Inc. 1,812 1,902 4.97 94 98 4.26
2018-01-31 13F-HR IFC Holdings Incorporated/FL 71,590 10,437 -85.42 3,719 537 -85.56
2018-01-30 13F-HR Telos Capital Management, Inc. 17,515 20,001 14.19 911 1,033 13.39
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 192,355 150,273 -21.88 10,001 7,760 -22.41
2018-02-13 13F-HR Merit Financial Group, Llc 23,582 653
2018-02-14 13F-HR ROYAL BANK OF CANADA 269,148 471,645 75.24 13,993 24,356 74.06
2018-01-25 13F-HR First Capital Advisors Group, LLC. 88,915 100,078 12.55 4,623 5,168 11.79
2018-02-09 13F-HR Valmark Advisers, Inc. 12,823 662
2018-02-14 13F-HR UBS Group AG 457,875 807,971 76.46 23,805 41,723 75.27
2018-02-08 13F-HR RFG Advisory Group, LLC 4,216 5,028 19.26 219 260 18.72
2018-02-20 13F-HR ENVESTNET ASSET MANAGEMENT INC 35,949 44,825 24.69 1,869 2,314 23.81
2018-01-17 13F-HR Capital Investment Advisors, LLC 17,061 18,671 9.44 887 964 8.68
2017-11-15 13F-HR First Heartland Consultants, Inc. 44,313 2,304
2018-02-07 13F-HR OPPENHEIMER & CO INC 4,816 0 -100.00 250 0 -100.00
2018-02-09 13F-HR Cornerstone Wealth Management, LLC 19,698 22,655 15.01 1,027 1,172 14.12
2018-02-14 13F-HR Wealthcare Advisory Partners LLC 500 26
2018-01-23 13F-HR Prospera Financial Services 37,098 40,084 8.05 1,930 2,072 7.36
2017-10-17 13F-HR Creative Planning 42 0 -100.00 2 0 -100.00
2018-02-22 13F-HR Wagner Wealth Management, Llc 9,129 471
2018-01-22 13F-HR Hochman Cole Investment Advisors, Inc. 5,261 5,261 0.00 274 272 -0.73
2018-02-13 13F-HR WAYNE HUMMER INVESTMENTS L.L.C. 28,489 31,109 9.20 1,481 1,606 8.44
2018-02-14 13F-HR LPL Financial LLC 373,234 347,717 -6.84 19,404 17,956 -7.46
2017-08-29 N-Q Northern Lights Fund Trust Iii (see advisory)
2018-02-16 13F-HR We Are One Seven, Llc 2,170 112
2017-11-13 13F-HR SYNOVUS FINANCIAL CORP 8,251 0 -100.00 430 0 -100.00
2018-02-09 13F-HR Virtu Financial LLC 15,414 0 -100.00 801 0 -100.00
2018-02-08 13F-HR D.A. DAVIDSON & CO. 6,737 32,803 386.91 350 1,694 384.00
2018-02-13 13F-HR UNITED CAPITAL FINANCIAL ADVISERS, LLC 291,488 325,093 11.53 15,154 16,788 10.78
2017-11-08 13F-HR Edge Advisors, Llc 229 0 -100.00 11 0 -100.00
2018-01-31 13F-HR Cypress Capital Management LLC (WY) 480 25
2018-01-17 13F-HR DAVENPORT & Co LLC 13,195 15,165 14.93 686,008 783,121 14.16
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 37 49,426 133,483.78 2 2,553 127,550.00
2018-02-05 13F-HR Barber Financial Group, Inc. 102,410 5,288
2018-02-07 13F-HR Private Advisor Group, LLC 11,228 7,311 -34.89 584 378 -35.27
2018-02-08 13F-HR Cetera Advisor Networks LLC 4,711 9,949 111.19 246 512 108.13
2018-02-13 13F-HR Financial Gravity Companies, Inc. 6,994 360
2018-02-08 13F-HR FIRST TRUST ADVISORS LP 20,363 0 -100.00 1,059 0 -100.00
2018-02-02 13F-HR Karp Capital Management Corp 49,284 55,226 12.06 2,562 2,852 11.32
2018-02-14 13F-HR Janney Montgomery Scott LLC 73,684 75,228 2.10 3,831 3,885 1.41
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 83,803 28,062 -66.51 4,357 1,450 -66.72
2018-01-16 13F-HR BerganKDV Wealth Management, LLC 27,692 25,796 -6.85 1,440 1,332 -7.50
2018-02-08 13F-HR Advisory Services Network, LLC 2,872 0 -100.00 149 0 -100.00
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 82,132 4,241
2018-02-09 13F-HR WEDBUSH SECURITIES INC 13,038 673
2018-02-14 13F-HR HighTower Advisors, LLC 17,187 30,079 75.01 895 1,556 73.85
2017-10-12 13F-HR V Wealth Management,LLC 450 0 -100.00 23 0 -100.00
2018-02-08 13F-HR Bridgeworth, LLC 4,323 8,646 100.00 225 446 98.22
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 37,738 76,545 102.83 1,966 3,980 102.44
2018-02-15 13F-HR JANE STREET GROUP, LLC 59,311 71,029 19.76 3,084 3,668 18.94
2018-02-15 13F-HR Financial Advocates Investment Management 22,101 1,142
2018-02-13 13F-HR JP Morgan Chase & Co 5,525 6,106 10.52 287 315 9.76
2018-02-14 13F-HR INVESTMENT CENTERS OF AMERICA INC 14,915 0 -100.00 776 0 -100.00
2018-02-05 13F-HR STEPHENS INC /AR/ 20,643 18,092 -12.36 1,073 934 -12.95
2018-02-13 13F-HR Icon Wealth Partners, Llc 1,625 84
2017-11-22 13F-HR Chicago Partners Investment Group LLC 14,333 745
2018-02-14 13F-HR Advisor Group, Inc. 19,740 14,760 -25.23 1,025 762 -25.66
2018-02-08 13F-HR WBI INVESTMENTS, INC. 836,473 43,195
2018-02-09 13F-HR Transamerica Financial Advisors, Inc. 6,471 6,956 7.49 337 360 6.82
2017-11-28 N-Q Mutual Fund Series Trust (see advisory)
2018-02-16 13F-HR WEALTHSOURCE PARTNERS, LLC 7,395 5,264 -28.82 384 272 -29.17
2018-02-09 13F-HR Bank of New York Mellon Corp 0 51,568 0 2,663
2018-02-08 13F-HR Global Financial Private Capital, LLC 15,857 10,533 -33.58 824 544 -33.98
2018-02-01 13F-HR CHATHAM CAPITAL GROUP, INC. 5,200 269
2018-02-08 13F-HR Cetera Investment Advisers 0 25,981 0 1,342
2018-02-01 13F-HR TCI Wealth Advisors, Inc. 97 5
2018-01-23 13F-HR Baystate Wealth Management LLC 560 0 -100.00 29 0 -100.00
2018-01-25 13F-HR Eqis Capital Management, Inc. 137,350 134,855 -1.82 7,141 6,964 -2.48
2018-02-16 13F-HR NORTHERN OAK WEALTH MANAGEMENT INC 6,033 312
2018-01-19 13F-HR Steward Partners Investment Advisory, Llc 630 1,279 103.02 32 66 106.25
2017-11-03 13F-HR Sandy Spring Bank 300 0 -100.00 16 0 -100.00
2018-02-08 13F-HR Cetera Advisors LLC 5,223 5,182 -0.78 271 267 -1.48
2017-11-21 N-Q Northern Lights Variable Trust (see advisory)
2018-02-14 13F-HR Patriot Financial Group Insurance Agency, LLC 2,190 1,997 -8.81 114 103 -9.65
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 1,097 2,756 151.23 57 143 150.88
2018-01-24 13F-HR IFP Advisors, Inc 31,506 33,015 4.79 1,638 1,705 4.09
2018-02-08 13F-HR First Allied Advisory Services, Inc. 63,156 40,227 -36.31 3,286 2,078 -36.76
2018-01-24 13F-HR Pinnacle Advisory Group, Inc. 495,237 510,500 3.08 25,747 26,362 2.39
2018-02-22 13F-HR Cambridge Investment Research Advisors, Inc. 68,685 89,521 30.34 3,571 4,623 29.46
2018-02-14 13F-HR MORGAN STANLEY 2,679,913 3,016,854 12.57 139,329 155,790 11.81
2018-02-09 13F-HR SSI INVESTMENT MANAGEMENT INC 94,945 101,135 6.52 4,937 5,223 5.79
2018-02-15 13F-HR Bb&t Investment Services, Inc. 670 1,208 80.30 35 63 80.00
2018-02-14 13F-HR Cypress Capital Group 13,300 687
2017-11-07 13F-HR Strategic Wealth Advisors Group,Inc. 47,921 34,084 -28.87 2,497 1,772 -29.03
2018-02-15 13F-HR National Asset Management, Inc. 7,355 9,059 23.17 383 468 22.19
2017-11-08 13F-HR Nelson, Van Denburg & Campbell Wealth Management Group, LLC 403 0 -100.00 21 0 -100.00
2018-02-14 13F-HR STIFEL FINANCIAL CORP 104,972 125,472 19.53 5,466 6,482 18.59
2018-02-08 13F-HR Wills Financial Group, Inc. 36,385 36,535 0.41 1,892 1,886 -0.32
2018-01-17 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. 4,323 1,050 -75.71 225 54 -76.00
2018-02-13 13F-HR LEVEL FOUR ADVISORY SERVICES, LLC 30,900 1,596
2018-02-14 13F-HR FIFTH THIRD BANCORP 1,502 78
2018-02-16 13F-HR/A-1 OLD MISSION CAPITAL LLC 10,716 553
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 15,200 17,782 16.99 790 918 16.20

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( LMBS / First Trust Enhanced Short Maturity ETF ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!


CUSIP: 33739Q200